| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
|
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED FUNDS WITH ASSOCIATE COMPANY
DID NOT MAINTAIN CONTINUOUS NETWORTH
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 28-APR-2023 TO 27-APR-2033
28-APR-2023
|
|
| 42 |
|
|
KATASHRAJ SECURITIES PVT.LTD.
(PAN:AACCK7144E)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-OCT-2019 TO 10-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-OCT-2019 TO 10-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED EXCHANGES AND/OR CLEARING CORPORATIONS AND/OR DEPOSITORIES TO APPOINT FORENSIC AUDITOR TO TRACK MISUSE OF CLIENT'S FUNDS/SECURITIES AND TO IDENTIFY NET ASSETS/LIABILITIES
DIRECTED EXCHANGES TO DEAL WITH COMPLAINTS/CLAIMS OF CLIENTS AGAINST MEMBER AND RETURN AMOUNT OF CLIENT FUND AND SECURITIES TO CLIENTS
11-OCT-2019
|
SEBI VIDE ITS ORDER DATED 24/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 11/10/2019
SEBI VIDE ITS ORDER DATED 28/06/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS FROM INTERIM ORDER
|
| 43 |
|
|
KAYNET FINANCE LTD.
(PAN:AAACK3482B)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
|
IMPOSED PENALTY RS.50,00,000
29-JUL-2021
|
SEBI VIDE ITS NOTICE DATED 20/01/2022 DIRECTED TO PAY RS.52,88,671.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/02/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 44 |
|
|
MONEY MISHRA FINANCIAL SERVICES
(PAN:AAZFM1357R)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-FEB-2019 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-FEB-2019
|
SEBI VIDE ITS ORDER DATED 17/05/2019 CONFIRMEND THE DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 27/02/2019
SEBI VIDE ITS ORDER DATED 20/06/2019 DIRECTED TO CONTINUE ALL THE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 27/02/2019 AND CONFIRMATORY ORDER DATED 17/05/2019 EXCEPT PROHIBITION CONTAINED IN PARA 8 (C) AND PARA 8(E) OF INTERIM ORDER DATED 27/02/2019
|
| 45 |
|
|
MONEY MISHRA OVERSEAS PVT.LTD.
(PAN:AAJCM8612N)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-FEB-2019 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-FEB-2019
|
SEBI VIDE ITS ORDER DATED 17/05/2019 CONFIRMEND THE DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 27/02/2019
SEBI VIDE ITS ORDER DATED 20/06/2019 DIRECTED TO CONTINUE ALL THE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 27/02/2019 AND CONFIRMATORY ORDER DATED 17/05/2019 EXCEPT PROHIBITION CONTAINED IN PARA 8 (C) AND PARA 8(E) OF INTERIM ORDER DATED 27/02/2019
|
| 46 |
|
|
MOONGIPA INVESTMENTS LTD.
(CIN:U74899DL1994PLC059535
PAN:AAACM5584A)
|
|
|
|
SUBHASH CHANDER SINGAL
PAN:AALPS3587R
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TILL FURTHER ORDERS
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
10-SEP-2015
|
|
| 47 |
|
|
NARAYAN SECURITIES LTD.
(PAN:AAACN2728F)
(Member : MSEI,Depository Participants : CDSL)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.50,00,000
21-OCT-2020
|
SEBI VIDE ITS NOTICE DATED 27/08/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 03/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF NARAYAN SECURITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 48 |
|
|
NNM SECURITIES PVT.LTD.
(PAN:AAACN8070G)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.7,00,000
28-FEB-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2020 DIRECTED TO STAY IMPUGNED ORDER SUSPENDING TRADES OF APPELLANT SHALL DURING PENDENCY OF THE APPEAL AND DIRECTED APPELLANT TO DEPOSIT RS.20 LACS BEFORE NSE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. AMOUNT DEPOSITED SHALL BE KEPT IN INTEREST BEARING ESCROW ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 19/11/2020 ALLOWED THE APPEAL AND NECESSARY CORRECTIONS IN THE MEMO OF APPEAL MAY BE CARRIED OUT WITHIN TWO WEEKS
|
| 49 |
|
|
PARAM COMMODITIES PVT.LTD.
(PAN:AAFCP0003L)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
IMPOSED PENALTY RS.10,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 50 |
|
|
PARAM COMMODITIES PVT.LTD.
(PAN:AAFCP0003L)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-DEC-2018
|
SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018
SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR FIVE YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 51 |
|
|
PARAMARTH AGRO MARKETING PVT.LTD.
(PAN:AAFCP0005N)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
IMPOSED PENALTY RS.10,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 52 |
|
|
PARAMARTH AGRO MARKETING PVT.LTD.
(PAN:AAFCP0005N)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-DEC-2018
|
SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018
SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR FIVE YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 53 |
|
|
PARTON COMMERCIAL PVT.LTD.
(PAN:AAECP6196R)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 06/12/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
|
| 54 |
|
|
PAWANTAR AGRO AGENCIES PVT.LTD.
(PAN:AAFCP0004P)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 55 |
|
|
PAWANTAR AGRO AGENCIES PVT.LTD.
(PAN:AAFCP0004P)
|
|
|
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-JUN-2022 TO 29-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUN-2022 TO 29-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 56 |
|
|
POLO SETCO TIE-UP PVT.LTD.
(PAN:AABCP7880R)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 06/12/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
|
| 57 |
|
|
PROSPEROUS VYAPAAR PVT.LTD.
(PAN:AAHCP7740A)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 06/12/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
|
| 58 |
|
|
RAGHUKUL SHARES INDIA PVT.LTD.
(CIN:U67120RJ2009PTC029155
PAN:AAECR3716R)
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DHRUVESH MAHESHBHAI PATEL
DIN:07712652
PAN:APMPP2298E
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MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT MAINTAIN NETWORTH AND DEPOSIT REQUIREMENTS
MADE FIXED PAYMENTS/RETURNS TO CLIENTS
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGE FOR CHANGE IN CONTROL AND APPOINTMENT OF DIRECTOR VIOLATING SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011 AND CIR/MIRSD/2/2011 DATED 03/06/2011
DID NOT REPORT COMPLETE AND CORRECT DATA TO EXCHANGE ON TIME VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2019 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
28-JUN-2019
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RAGHUKUL SHARES INDIA PVT.LTD.
(CIN:U67120RJ2009PTC029155
PAN:AAECR3716R)
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SANDESH KHANDELWAL
DIN:02661150
PAN:ANGPK7447L
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MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT MAINTAIN NETWORTH AND DEPOSIT REQUIREMENTS
MADE FIXED PAYMENTS/RETURNS TO CLIENTS
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGE FOR CHANGE IN CONTROL AND APPOINTMENT OF DIRECTOR VIOLATING SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011 AND CIR/MIRSD/2/2011 DATED 03/06/2011
DID NOT REPORT COMPLETE AND CORRECT DATA TO EXCHANGE ON TIME VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2019 TO 27-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2019 TO 27-JUN-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-JUN-2019
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REETS PLASTICS PVT.LTD.
(PAN:AACCR2424A)
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MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-OCT-2019 TO 10-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-OCT-2019 TO 10-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED EXCHANGES AND/OR CLEARING CORPORATIONS AND/OR DEPOSITORIES TO APPOINT FORENSIC AUDITOR TO TRACK MISUSE OF CLIENT'S FUNDS/SECURITIES AND TO IDENTIFY NET ASSETS/LIABILITIES
DIRECTED EXCHANGES TO DEAL WITH COMPLAINTS/CLAIMS OF CLIENTS AGAINST MEMBER AND RETURN AMOUNT OF CLIENT FUND AND SECURITIES TO CLIENTS
11-OCT-2019
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SEBI VIDE ITS ORDER DATED 24/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 11/10/2019
SEBI VIDE ITS ORDER DATED 28/06/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS FROM INTERIM ORDER
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